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---I_ - - -- -7 __. -. ----- -I---- -- _---- .-._ -- Dcccm her 1985 Report No. S’I’AN-CS-86- 1094 Also rwdered KSh!U-37 EXPERT SYSTEIVIS: Working Systems and the Research Literature Hrucc C 13uchanan Department of Computer Science St;mfortl Univwsity Strrnford. CY\ 94305

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Dcccmher 1985 Report No. S’I’AN-CS-86- 1094Also rwdered KSh!U-37

EXPERT SYSTEIVIS:Working Systems and the Research Literature

Hrucc C 13uchanan

Department of Computer Science

St;mfortl UnivwsityStrrnford. CY\ 94305

Knowledge Systems LaboratoryReport No. KSL-85-37

December 1985

EXPERT SYSTEMS:

Working Systems and the Research Literature

Bruce G. Buchanan

Knowledge Systems LaboratoryDepartment of Computer Science

Stanford UniversityStanford, CA 94305

Abstract:

Many expert systems have moved out of development laboratories into field test and routineuse. About sixty such systems are listed. Academic research laboratories are contributingmanpower to fuel the commercial development of AI. But the quantity of AI research maydecline as a result unless the applied systems are experimented with and analyzed.

i

Table of Contentsl.INTRODUCTION 12.EXPERTSYSTEMSINROUTINEUSEORFIELDTESTING 33.THEINTERDEPENDENCYOFAiAPPLICATIONS&AIRESEARCH 104.AIASANEXPERIMENTALSCIENCE 11%ARETHESESYSTEMS"REALLY"EXPERT? 146.CONCLUSIONS 167ACKNOWLEDGMENTS 18&AN EXTENDED t~[11I.IOGRAPHY OF F,XPF.RTSYS'I'F..LIS 20

1

EXPERT SYSTEMS:WORKING SYSTEMS AND THE RESEARCH LITERATURE

Bruce G. Buchanan

1. INTRODUCTION.

.

According to the popular press, expert systems can do everything. But responsible developers know

differently. Although the possibililies for AI programs arc limitless. and the aclual working applications arc

more and more numerous, we have much work to do in order to learn from the applications of Al Jrcndv in

place, so that more comprehensive applications can be delivered. Unfortunately, very few of the applications

will tell us much about AI.

There are now four areas of application of Al that have commercial significance: robotics (i.e., both vision

and manipulation), natural language understanding, automatic programming, and expert systems. This paper

concentrates on expert systems. although all four areas share characteristics of all symbolic reasoning systems.

with similar overall value of applications.

There is no single definition of an expert system. and thus no precisely defined set of programs or set of

literature references that represent work on expert systems. Nevertheless, I have attempted to put together

such lists in an effort to further research and technology transfer.

The major dimensions along which I have defined expert systems [48] are the following:

1. AI METHODOLOGY -- Expert systems are AI programs. That is. they are programs that reasonwith symbolic information and use heuristic (non-algorithmic) inference procedures.

2. HIGH PERFORMANCE -- Expert-level performance is what the designers are attempting toachieve, but this, too. is not always well defined. In narrow problem areas, it is possible toconstruct systems that reason as well as the specialists in those areas. ln some areas, it is beneficialto construct systems that solve only a fraction of the problems that an expert can solve -- but solvethem correctly -- if, for instance, those systems can free an expert’s time for the more difficult

L problems.

3. FLEXlBILITY -- AI programs, generally, are more flexibly designed than algorithmic programs,partly because they have to be in order to allow modification as problems become better defined.In addition to the flexibility needed at design time. it is desirable for expert systems to exhibitflexibility at run time. In particular, the more tolerant they XC of unanticipated input, newcontexts of application, and different kinds of users. the more “expert” they would stem :o be.

2

4. UNDERSTANDABILITY -- Just as an expert can explain his/her reasoning’ , an expert systemshould be able to explain its line of reasoning and the contents of its knowledge base. This, too. isimportant both at development time, for debugging, and at run time. for accepting thereasonableness of the system’s conclusions.

One of the key elements of an expert system that makes possible this dcgrce of flexibility and

understandability is the separation of the knowledge base from the inference engine. This has become the

fundamental organizing principle of all successfU1 work on expert systems. McCarthy’ noted years ago that a

straightforward, modular, declarative representation of knowlcdgc was a prcrcquisitc for a system that could

be told new facts and relations. Because AI systems are often used to help dctine ill-structured problems. they

arc constructed incrementally. Thus representing the knowledge base in a form outside of the main body of

code will make it easier to modifv and explain.

A significant development in research on expert systems was the introduction of framework systems that

provide an inference engine and syntax for knowledge but contain no problem-specific knowledge

themselves. EMYCIN was designed and written in the mid-1970’s by van LMelle [341] as a test of our claim at

Stanford that MYCIN’s inference engine was completely independent of the knowledge base. He developed

generalizations of the tools in MYCIN. and developed new tools. that made EMYCIN a useful environment

for building and interpreting knowledge bases for new problem areas. It is not a framework for building

every kind of expert system. On the contrary, its utility is limited to a class of problems like MYCIN’s:

selecting plausible answers to a problem from a fixed set of alternatives by gathering and weighing evidence

for the alternatives. By fixing the representation of knowledge and the modes of inference. however,

framework systems allow builders of expert systems to start from a substantial base of programs and to

concentrate on formulating the contents on the knowledge bases without having to design new data structures

and programs that manipulate them.

By now, several other framework systems have been built and used in both research and commercial

settings [ 1481. They offer considerable power for experimentation in AI because these systems can be held

constant over several problem areas, or most of the system can be held constant while one part varies. The

commercially available framework systems (see [141]) are built on the same principles. frequently merging

1 Plato. In the Theaererus. dlstlguished a person’s knowrng somethmg fmn merei! be~!eTf It by the abthty to explain the underlgmgreasons for a belief. Similarly. It seems odd to say that a person has el<Penlse In a reasoning task of he/she cannot explain the line ofrcasonmg. S. Savory points out (298) that L’trgll also refers to understandablht) In his phrase “~‘ellX qul potult rerum cognoscere causas.”which m@t be translated as “Happy 1s he who has been able to learn the causes of thmgs ”

‘“Programs wtth Common Sense.” Proceed1qs @‘the S,mporlum on Ihe .~~dmwar~on o/‘Thoughr Processes. IYS8. pp. 77-M. ~1x1repnnted m Semanrlc lnformaflon Processmg, \j. Mansky, Ed., .CllT Press. 19t&

ideas from several paradigms in a single hybrid system. The existence of these commercial tools -- and. more

importantly, of expert systems using these tools -- marks the transition of AI from a purely academic

discipline to a commercially important set of products.

2. EXPERT SYSTEMS IN ROUTINE USE OR FIELD TESTING

Depending on which speakers you believe it has been suggested that only ~tze expert system, at most, is

“really” working (namely Rl) or that there arc I~&eij.s of opcrntlonal systems. Rccause the instituitions

developing systems are slow to publish, and thcrc is so much rnarkcting “h~pc” surrounding :\I, it is difficult

to separate fact from fiction. And there is some fiction. Ho~+cvcr. in many meetings over the last year expert

systems were discussed that have been moved out of ‘1 l;lbor,ltory dcvclopmcnt environment into ticld test.

and some out of field test into routine use. The list below is the result of my having collcctcd the names of

several such systems, and having tried to follow up with addition;tl ~rification of their status.

The list is based on information supplied largely by rcliablc sources among the developers. A few systems

have been included based on strong and unambiguous claims in reputable journals. I have omitted other

systems reported in the literature without a clear indication of status, unless I could talk with someone in

authority who knew the status. A survey on AI in Engineering [315] resulted in a list of expert systems, most

of which are still under development. Several journals, including Expert S~srems, present reports on systems.

but these. too. are largely early prototypes. Classified systems done for the U.S. government have been

omitted also, because it is so difficult to determine their status.

This list is almost certainly incomplete. It is regrettable that published accounts of working systems do not

always exist. I have attempted to supply as many references as possible or. when not available, the name ofthe person who furnished information about status. Additional classified and proprietary systems were

mentioned by representatives at several companies. There are news stories of working systems in Japan which

1 was unable to follow up on. For these reasons, and because many systems are under development, the list is

only a sample of what exists in late 1985, and presumably is much smaller than one we will be able to compile

next year.

My criteria for including a system were that (a) it is based on AI principles. as described above, and (b) it

runs. as well as I could determine. in a tield-test or run-time environment outside the development laboratory.

There may well be some systems on the list whose status J misintct-pretcd: unfortunately, time did not permit

first-hand cxammation of these systems. Therefore this list is meant as evidence that there arc several expert

systems out of the laboratory and in the hands of users.

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AGRICULTIJRE

SITE EXPERT SYSTEM AND DESCRIPTION SOURCE

ICl WHEAT COUNSELLOR Advise on control of disease WIin winter wheat crops

Virginia Polytechnic Inst. POMME Advise farmers on management of~tpplc [289 Iorchards. including pest managcmcnt, drought control.pcsticidc sclcction. treatment of hinter injuncs

CH l--&l IS’I’RY

SITE EXPERT SYSTEM (1ND I)ESCRlYI’lO~ SOL RCE____-___-_____--__-________________ _____--_-_____--__________--______----__--_----------------- -------_-__-_--_-__-------------------------------

British Gas Advise on appropriate hcrbicidc for specific application Tim l%oyd. ICI - (Sb dncy )

Lawrence Liver-moreNatl. Labs

TQMSTUNE Tune triple quadnlpolc mass spectrometer Carla Wang. I.13 I. [94]

Molecular Design Ltd DENDRAL (parts) Search chemical structure libraries James Nourse. Mol. Designfor substructures [42. 2071

Shell Institute Screen new chemicals for herbicidal properties(Kent England) based on structure- activity relationships

Donald Michie, Turing Institute(Glasgow)

SUNY-Stonybrook SYNCHEM Plan chemical synthesis steps Herb Gelernter, SUNY[122]

5

.

COMPUTERS AND ELECTRONICS

SITE EXPERT SYSTEM AND DESCRIPTION SOURCE__--__-_------_----------------------------------------------------------------------------------------------------------------------------------DFC

DEC

DEC

DEC

DFC

DEC

Fairchild

GTE

Hewlett-Packard

Hughes Electra-Optical &Data Systems

IBM

IBM L

IBM

I.C.L.

XCON,XSEL,XSITE Configure VAX orders, Check ordersfor accuracy, Plan site !ayout

AI-SPEAR Diagnose failures in tlipc drives and suggestprcventivc actions

CAILIS’fO Help manage resources for chip dcsigncrs

CDx Analyze VMS dump tilts after system crashes

DAS-LOGIC Assist circuit designers bithlogic design

NTC Troubleshoot problems related to Ethernet &DECntt networks

PIES Diagnose problems on circuit fabrication line

COMPASS Analyze maintcnancc records for telephoneswitching system and suggest maintenance actions

PHOTOLITHOGRAPHY ADVISOR Troubleshootphotolithography steps in circuit fabrication

HI CLASS Sequence steps in pc board assembly

CSS Aid in planning relocationreinstallation & rearrangement of IBM mainframes

PINE Guide people writing reportson analysis of software problems

YES/W’S lllonitor M VS operating system

Contigure Series 39 computers

[214.215]125 11

Neil Pundit. DEC( Hudson) [30]

Mark Fox. Carnegie Mellon

Neil Pundit. DEC(Hudson)

John McDcmxxt. CarncgicGroup

Neil Pundit. 1)I-C(Hudson) [264J

Marty Tencnbaum.Schlumberger (Palo Alto)

Chuck Rich, MITWI

[ 185,661

WI

A. Way ne Elwood, IBM(San Jose)

A. Wayne Elwood. IBM(San Jose)

Peter Hirsch. IBM (Palo (\lto)[ 135. 142. 2-u)

Tim Boyd. ICL (Sydney)

6

COMPI JTERS AND ELECTRONICS. cont.

I SITE EXPERT SYSTEM AND DESCRIPTION SOURCE

ITT (Germany) Diagnose faults on printed circuit boards Donald Michie, Turing Institute(Glasgow)

Lockheed

Lockheed

NCR

Nixdorf

BDS Troubleshoot baseband distribution subsystemof communications hardware

DIG VOLTAGE TESTER Aid troubleshootingdigital voltage sources in testing lab

OCEAN Check orders for computersystems, contigure orders

FAULTFINDER Diagnose failures in disk drives

Wait Perkins. I .ockhecd(Palo Alto)

Tom Laffey, Lot k heed(Palo Alto)

Barry Plotkin.Tcknowledge

WI

N ixdorf

S.W. Bell

Travelers Insurance

CONAD Check order entry and configure computer systems [297]

ACE Troubleshoot telephone lines [343.229, 3581

DIAG8100 Diagnose failures in DP equipment Luther WeeksTravelers [336]

.CONSUMER SERVICES

SITE EXPERT SYSTEM AND DESCRIPTION SOURCE__-___-_-_-___-----_____________________-------------------------------------- __-_---__-_--------------------------------------------------------Infomart. Dallas INFOMAU ADVISOR Advise shoppers on computer John Alden, TI (Dallas)

purchases

EDUCATION

SITE - EXPERT SYSTEM AND DESCRIPIION SOURCE------------__-_--______________________------------------------------ _____-__-__-__--_----- -----------------------------------------------------DEC TVX Tutor users of VMS operating system Neil Pundit DEC (Hudson) [3I]

1 .ockheed (Sunnyvale) DECGUIDE Tutor designers in design checking Walt Perkins. I,ockheed(Palo Alto)

c;/

XEROX, PARC BUGGY Debug students* subtraction errors Kurt Van Lehn. CMUi [field tested. now dormant] [36 491!I

FINANCIAL,

s I’I’E EXPERT SYSTEM AND DESCRIYIION SOURCE______-_-__-_-___-______________________---------------------------------------------------------------------------------------------------------A IG [American] Advise & support commercial insurance underwriters Peter Hart. SyntclligtnceInternational Group] (e.g. on risks)

First Financial Planning APEX System .\id prot’cscional financial pl;inncrsSystems [‘I‘ravclcrs Ins.] manage clients’ ;ICCOLI ncs

St.Paul Insurance Co. Assess a variety of commcrci;tl insurance risks Pctcr Hart. Syntclligcncc

GEOLOGY

S I’I’E EXPERT SYSTEM ,\NI> DESCRIPTION SOURCE_----_-_-_-_-___-_-------------------------------------------------------------------------------------------------------------------------------Elf-Aquitaine

NASA

NL Indus.

Schlumberger

SITE

EPA +

SECOFOR Advise on drill-bit sticking problems in oil wells Barry Plotkin. Teknowledgc[training tool] WI

GEOX Identify earth surface minerals from Wun Chiou. Lockheedremotely sensed hyperspectral image data (Palo Alto) [58]

MUDMAN Diagnose problems in composition of John McDermott. CMU [ 169)drilling mud during oil well drilling

DIPMETER ADVISOR Analyze oil well logging dataWI

INFORMATION MMWAGEME?JT

EXPERT SYSTEM AND DESCRIPTION SOURCE.__---_----____-____----------------------- ------------------------------------------------------------------EDDAS Advise on disclosure ofcontidential business WI

information

8

MANUFACTURING & ENGINEERING

SITE EXPERT SYSTEM AND DESCRIPTION SOURCE_-________-____-________________________------__-____________________________________------------------------------ _-_---__-____--__-_-__________British Steel Corp.(Scunthorpe rod mill)

Campbcli Soups

Delco Products

Delco Products

DEC

DEC

G E

Hitachi

Kawasaki Steel(Mizushina Works)

Kawasaki S reel

Westinghouse

Westinghouse.

Westinghouse

Xerox. ReprographicsBusiness Group

ICLX Aid technicians diagnose faultsin rod milling process

Troubleshoot problems in soup cookers. anticipate failures

ENGINE COOLING ADVISOR Diagnl>secauses of noise in automobile engine cooling system

MOTOR LIRUSH DESIGNER Construct designof brushes & springs for small elcc. motors

ISA Schedule orders for manufacturing and dclivcry

DISPATCHER Schedule dispatching of parts for robots

CATS Diagnose problems in diesel-electric locomotive

Control railroad train braking for accuracy and comfort

Detect cracks in billets & direct grinding

STOWAGE PLANNER Develop cargo storage plans forwarehous.

VT Configure orders for new elevatorsystems

Nuclear fuel enhancement

ISIS Schcdulc manufacturing steps in job shop

PRIDE Create and analyze new designs for copiers

WI

John ,\ldcn. ‘I’1 (Dallas)[ .308]

Stcvc Dourson, Delco [86]

Steve Dour-son. Delco [277]

Neil Pundit. DEC(Hudson) [25-4]

John McDermott.Carnegie Group

Piero Bonissone,GE (3261

Edward Feigenbaum, Stanford

Akira Miyajima, Kawasaki(Chiba, Japan)

Akira Miyajima. Kawasaki(Chiba. Japan)

John McDermott,Sandra Marcus. ClMU

Donald Michie. Turing Institute(Glasgow) [ 131

Mark Fox. CMU [ 1081

Sanjay Mittal. Xerox(PARC) [235]

9

MEDICINE

S ITE EXPERT SYSTEM AND DESCRIPTION SOURCE----_-------------------------------------------------------------------------------------------------------------------------------------------Hclcna I .abs Serum protein analysis (354

Pacific Medical Ctntcr PUFF lntcrprct pulmonary hmction tests

St. Vincent’s Hospital Intcrprct th>.roid hormone assays WI(Sydney)

Stanford Oncology Clinic ONCOCIN ,Ll,lnagcmenwith cancer

t of therapy for patients E.H. Shortliffc[152. 1801

XIII-ITi\RY3

SITE EXPERT SYSTEM AND DESCRIPTION SOURCE_.---_--____-_---__------------------------------------------------------------------------------------------------------------------------------U.S. Army AALPS Plan optimal loading of equipment & cargo Chuck Rich, MIT

on aircraft WI

. SOFTWARE

SITE EXPERT SYSTEM AND DESCRIPTION SQURCE-_________-_-___-_--____________________---------------------------------------------------------------------------------------------------------Shell Petroleum Intelligent front-end for complex software Donald Mic hie,

Turing Institute (Glasgow)

3Clsssltied s! stems arc not mcludcd here.

10

3. THE INTERDEPENDENCY OF Al APPLICATIONS & Al RESEARCH

The commercial goals of companies applying AI to their problems are decreasing cost and increasing

quality of goods and services. However. the longer-range scientific goal of AI research is to understand howto build intelligent systems better and faster in the titure. In a well-established discipline like physics or

chemistry. it is possible to separate the applications from the research. A chemical engineering company

applies known methods: a research laboratory looks for new ones. In AI and other young disciplines, on the

other hand. there are mitigating circumstances that make progress dependent on closer collaboration between

applications and research.

First, in AI thcrc is still a small .~cyyl~l of cxpcrienced researchers in AI. Thirty years ago there wcrc adozen or so persons working in :!I and defining the field. Ten years ago thcrc wcrc a couple of hundred.

mostly clustered in three university research labs: CMU. MIT, and Stanford. In the first year after the AAAl

was formed in 1979 -- six years ago -- the membership in AM1 has about 400. That is. the supply of persons

with 5-10 years of experience in AI is very small. The annual rate of new PhD’s in Computer Science has

changed little over the last few years -- about 250 per year. Of these, perhaps 60-80 (roughly l/4 to l/3) are

specialized to AI. So the annual increase in the supply of PhD-level researchers is also small.“

Second, as everyone in the AAAI knows, the demand for trained workers far outstrips the supply. There is

intense competition for people who understand the principles of AI and can apply them in practice. Thatdemand comes from three sources: universities, industrial and non-profit research labs. and the new

applications industry..

Universities are starting new Computer Science deparunents with unfilled slots for AI faculty. And

established CS departments are expanding their course offerings in 111. This is healthy, of course. because

some of these faculty will start nm research projects and will have a fraction of their time for research. It is

necessary to increase the number of teachers if we expect an increase in the number of students (although

some university administrators seem to believe otherwise). The disappointing part of the university picture,

however. is that the faculty slots are unfilled. What is more. because of salaries. work loads, and the absencee

of a larger AI community around many schools, these schools will continue to have difficulty hiring AI faculty

in the next several years.

Non-profit research laboratories have a distinguished history of producin, 30 *ood 11i research. Places likeR[j;\jD. l,incoln Labs. HBN and SRI-International hake fostered much of the work that is now being

1 If the growth of the ,\AAI IS any lndicatlon. however, the situauon should ImProle considcrabl! wlthm ti~c !ears. In 1984 the totalmembershIp was 7200. mcludmg 1400 student memberships. In 1985 it was 9.935 members. mcludmg 743 student members.

11

dcvcloped commercially. Industrial research labs, like XEROX-PARC and (more recently) Schlumberger,

are also places where the research spirit fosters excellent AI research. In the last few years, more and more

positions have opened up in these laboratories. About 25 large (Fortune-500) companies posted recruiting

notices at the 1984 AAAI meeting, for example. The only disappointing aspect of this is that the research

positions have largely been filled by AI researchers from universities. As a result. there is nearly a steady state

in the number of persons doing Al rcscarch, and a net loss in the number who are teaching.

By far, though, the largest demand for Al horkcrs comes from the ncu industry growing up to develop and

market Al software. This is as true in robotics and natural language applications ;rs in cspcrt systems.

Overall, this is a healthy development for AI because it is creating many more jobs than the uni\crsitics ;\nd

rcscarch labs could offer. And the availability of employment certainly encourages bright. young pcoplc to

enter the field in the first place.

But there is a possibility of killing the goose that lays the golden egg. as many have pointed out. The N

rcscarch community has effectively lost a number of good people as they are attracted to the commercial side

of AI. This may slow down the research necessary to sustain the industry in its second 5-IO-year period.

Staffing for AI research is now in a period of instability.

This, then, is a fundamental problem in carrying out AI research. The applications community, however,

can help alleviate it. The action item I am proposing to remedy this situation is to experment wirh

applicabons and publish the resuffs. That is, use the applications already being built to make incremental1 progress in the research.

4. Al AS AN EXPERIMENTAL SCIENCEThe paradigm of successful, experimental research has six steps. Too many of us try to take shortcuts since

all six are difficult and time-consuming. But if we’re going to advance the state of the art by experimenting

with applications programs, then we have to consider each application as applied research. That means

following all six steps -- with many iterations and loops among them.

The six are:

1. Define rhe Task. Experimental research at its best is hypothesis testing. Given a well-framed hypothesis,

dctemine the extent to which it is credible. This implies that the experimenter starts with a question and

knows how to recognize an answer.

In AI, unfortunately, we see too many papers whose strongest claim is that the author set out to

12

“investigate” some issue. These papers do not contain results because nothing was analyzed. no comparisons

made, no measurements were taken. In short, this is useless research if future workers cannot determine what

problem the investigator was trying to solve.

2. implement and refine and prototype. The most credible demonstration that ideas in Al have power is

with a running program. We have all seen numerous “proofs” of the right ways to cmpowcr computers with

intelligence. But they lack the con\ incingness of a program that runs.

Unfortunately. an impl~mentLttion of an idea provides only a dcmonstr;ltion ch,lt ti new method is .~clji~*iotlr

for solving a problem. WC cannot show, through the implementation aione, that the method is rlecessagr for

the solution. Subscqucnt cxpcrimentation and analysis are necessary to make the dcmonstmtion of

sufficiency more interesting.

3. Experiment wirh the system. There is not enough well-planned, controlled cxpcrimcn&on in Al. Yet

experimentation is important to establish the robustness of a new method. its scope of applicability, its

weaknesses as well as its strengths. For example, an empirical sensitivity analysis rcvcalcd the extent to which

MYCIN’s rules and reasoning methods did not depend on precise values of certainty factors [47]. Other

studies have tested AI programs against new problems to determine where and why they fail. Others have

systematically varied methods used in a program to compare relative performance.

4. Analyze the issues -- what are the design and implementation features that contribute to success? Which

. are redundant? Where are improvements needed..3 With a complex system like an Al program, data collection

is easier than data analysis. It took a Kepler, if you recall. to interpret the data painstakingly collected by his

professor. Tycho Brahe (a warning to the next generation of students). With an artificially constructed

system, the designer is often in a much better position to analyze the results of experiments because the pointsof brittleness in the design are more easily known to the designer. lt is undesirable and unscientific for us to

accept the words of the designer uncritically: independent verification is important. As a practical matter,

however, few large programs are ever examined or tested by others because of their complexity. This has to

change.

5. Genera/i;e. Some speculation about the generality of methods is dcsirablc. especially if it is backed up

by cvidcncc. This becomes, in cffcct, a testable h)pothcsis that c)rhcrs cdn follow up on. In c~‘eq scicncc,progress results from advancing hypotheses and testing them. :I1 jhould bc no different.

l%ly in the implementation of MYCls. for example. be ciaimcd that the inference method was

sufficiently general to use with other medical or non-medical knoklcdgc bases. Van Mcllc tcstcd his

13

hypothesis and, -after considerable work, made it true.

6. Publish -- what is the good idea? How can others use it?. The quality of publications in AI does not often

reflect the high quality of the researchers. Communicating the results of an analysis is an essential part of

science, yet far too many of our conference and journal papers seem to be descriptions of programs with no

analysis and no results. McCarthy has described these publications as being of the form “LOOK MA, NO

HANDS!” because they announce only that a program works. In order to contribute to AI rcscarch. apublication must bc clear and must identify the reasons why an application is presumed to work well. or the

reasons why it dots not work bcrtcr.

Out of the theoretical l+ork in Al h&is grown a body of knocslcdge about such issues as rhc formal propcrtics

of search algorithms and extensions nccdcd to our logical apparatus to deal with truth maintcnancc and

non-monotonic reasoning. In our own terminology. this rcscarch falls under a model-driven or top-down

rcscrirch strategy. Some of the less charitable call it “development of solutions in search of problems,” which

is always a charge leveled at “pure” research.

The experimentalists in AI are looking at the same issues and have the same ultimate goals as the

thcorcticians: to understand the nature of intclligcnce well enough to build intelligent machines. The

expcrimentalists’ style is data-driven, or bottom-up, based on observed instances of problems and their

solutions as coded in running programs. Whereas the theoreticians start with an issue that needs to be

resolved -- like common sense reasoning -- the experimentalists start with a task whose solution requires some. intelligence. There is naturally some hope that these will meet somewhere in the middle.

Applications have focused attention on some specific issues and have advanced methods to deal with them.

For example, applications have contributed to research on reasoning strategies. explanation. knowledge

acquisition, inexact reasoning, meta-level knowledge, causal reasoning, models of interaction, and validation.

The primary reason for this is that an application is generally unforgiving of shortcuts and simplifying

assumptions. Designing software for persons outside the research laboratory imposes a discipline on AI that it

had not had to face in its early, formative years. And. in the proms. it forces attention to some of the issues

outside the traditional spheres of A[ research: methods for symbolic inference and techniques for

rtprcscnting symbolic knowledge.

*rhc cxpcriments in A[ arc often not well dcsigncd. hobc\er. and the results of the experiments are not easy

to state crisply. But we are still able to learn from the appkmm we build. [It the least. it should not require

much effort to record ideas that failed and decisions to rcimplcment parts of an emerging system. Sensitivity

analyzes can illuminate the sources of power in a system. Comparative studies can help us understand he

14

relative strengths of different architectural choices. An example of this sort of analysis is the one of Rl [217]

or of the Schlumberger Dipmeter Advisor [312]. In every case there is some extra effort required to performexperiments, analyze results, and publish. This cost, if shared among all developers, however, will help insure

against the risk of depleting the pool of AI research talent.

5. ARE THESE SYSTEMS “REALLY” EXPERT?It has been popular to argue against the very idea of artificial intelligence by cl,riming that c\ cn though A I

programs appear at times to bchakc intclligcntly they arc not “really” intclligcnt. ,\ variant of this argument

has surfaced with respect to expert systems: that they only uppear to behave cxpcrtly but arc not “really”

expert. Use of the term “really” is slippery. however. and hides the shifting criteria that arc cmploycd cvcry

time the behavior of the programs improves. There is no reason to take this criticism seriously.

Howcvcr. three substantial criticisms of cxpcrt systems warrant brief discussion hcrc. .l’hcy arc that cxpcrt

systems arc not going to pay off in the long run because they lack three kinds of knowlcdgc:

1. successively deeper layers of knowledge of their task areas to use when the shallow, compiledknowledge fails to reach a satisfactory answer,

2. common sense to avoid errors due to reading the expressions of knowledge too literally or due toincomplete coverage of possibilities within the explicitly stated knowledge base, and

3. knowledge about how to learn from experience.

Expert systems of the current generation do lack these three kinds of knowledge. but that is not to say thatfuture systems will. Nor does that lead directly to the conclusion that today’s systems arc not able to perform

at the level ofexperts and contribute positively in well-defined contexts. Let US look at them separately.

1. Deeper Layers of Knowledge

Rule-based systems encourage encoding judgmental expertise. in the form of empirical associations, in the

knowledge base to help expert systems reason about plausible solutions to problems. This is true also of

frame-based systems, and it can be true of the associations in logic-based systems. ln ,MYCIN. many of the

rules are empirical associations that lack a sound theoretical justificauon, often because medical scientists have

not yet discovered the theory. Other rules are definitional. and thus encode a part of the existing theory of

medicine. Still other rules are theoretically based associations betbcen Cases and effects, which skip the

underlying, “deeper” layers of knowledge that explain and jusufy the assoctations [61]. In this sense, a ru[e

may be “compiled” knowledge in that it accurately allows a system to reason from A to B but has skipped

over the intermediate steps that persons sometimes go through, or appeal to. to justify B in the context of A.

15

One serious manifestation of this problem appears in the explanations that expert systems currently give of

their line of reasoning. While a person can explain a phenomenon at successively deeper layers of detail,

current systems show the individual elements of the knowledge base used to draw a conclusion without

showing the “decompiled” forms that would justify those elements. Another related manifestation appears in

the context of tutoring. A student trying to learn the contents of an expert system’s knowledge base needs

deeper layers of structure to help tie the elements of the knowledge base together [47].

MYCIN’s mlcs. as \sith most current rulebased sl’stems. were urittcn and rctincd ~ih cl \pccttic task in

mind -- diagnosis and therapy in M\‘Cl;\i’s USC. The knowlcdgc base is not gcncr41~ US&II for- cjthcr tasksbut is cngineercd tightly for a single purpose. This is another sense in which ;I set of r-ulcs constitutescompiled knowledge and is a strong argument for a more declarative rcprcscntation of knoulcdgc than ;I set

of rules provides.

MYCIN would be admittedly more knowledgeable if it had more knowledge. in particular. kno\vicdgc of

the physiological and biochemical processes that justify many of its rules. Its cxplanarions clnd tutorialdialogues could be smarter, and the deeper layers could make it easier to build and maintain the knowlcdgc

base. But it would not necessarily perform its tasks of diagnosis and therapy bcttcr in the kind of constrained

context in which systems are now being designed.

2. Common Sense

. McCarthy [212] has argued that MYCIN, and other expert systems. are bound to behave poorly at times

because they lack common sense. He describes an interchange in which MYCIN looks stupid to him because

it fails to object to the possibility of amniocentesis for a male patient. Obviously. this could be remedied witi

the same kind of rule that prev‘ents MYCIN from accepting the possibility of pregnancy for males. But

McCarthy is pointing to a general fault that without common sense, there will always be failures of this simple

kind. (People sometimes are misled when they fail to use their common sense -- so just having it is not

enough.).

McCarthy’s point is well taken: if expert systems know more. particularly if they have more relevant

common sense, they will probably perform better. Current systems often exhibit the kind of brittleness that

McCarthy points out because they make strong assumptions about the context In hhich they will be used, thetypes of users, the vocabulary, the “reasonablcncss” of other lines of rc=oning. dnd SO forth. They also tend

to have rather sharp fall-off in performance at the boundaries of their knowledge. In common parlance, hey

“fall off knowledge cliffs” when we would expect an expert’s performance to degrade gracetilly at tic

boundaries of his or her knowledge.

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But on the positive side. the context for which an expert system is designed to be used can limit the amount

of common sense that is necessary in practice. For MYCIN, physicians using the system were assumed to

have common sense enough not to tell MYCIN that a male patient has had amniocentesis -- or thousands of

other things that would make MYCIN appear to be stupid. The users were assumed to want help enough to

supply sensible information to MYCIN. Establishing a common framework between the system and its users

is the responsibility of the design team, mostly of the expert. Without a shared vocabulary and shared

assumptions, a system’s recommendations may easily be misunderstood.

3. Lcarninl: Fro111 CIspcricncc

Expert systems currently do not improve their own behavior based on expcricncc: does that mean they are

not “really” expert? This is a dctinitional question on which one may take a dogmatic stand’ . However, if we

use a performance-based detinition of cxpcrtise and not a dispositional one. then we may be less dogmatic- .and say that a person. or a program, is an expert by virtue of excellent performance, rcgardlcss of how he, she

or it gained his/her/its knowledge in the first place (and kept it current). For example. some of us. anyway,

would prefer to have a medical problem diagnosed by a physician with 20 years’ experience who knows most

of what is relevant for our problem -- even if he or she has stopped learning -- instead of having the problem

diagnosed by a recent medical school graduate who knows only little of what is relevant but who is learning

rapidly. When the knowledge curves of the two cross, if we could measure them, then we might change

physicians.

6. CONCLUSIONSEvery limitation of an expert system presents opportunities for research. including the three areas of

criticism listed above. One of the major benefits of focusing sharply on an application is that the limitations

are difficult to ignore and proposed improvements have to pass the operational test of improving the

performance of the expen system. Current AI research in many different areas can mean increased

capabilities for expert systems. For example, research on qualitative reasoning could enhance the reasoning

power of systems over their present capabilities. Also, current work on meta-level reasoning can giveL

programs a better sense of knowing their own limitations -- a form of common sense knowledge.

As a result of research in the last decade, simple. rule-based systems are now strarghtforward to build. They

can be important for helping people solve problems for which expertise is in short supply, or is not well

distributed. or is not available around the clock. More complex problems will require more complex

5 As Schank did In the &Se+Leherer I’V intervIew and In 129%

17

knowledge structures and reasonmg methods, and may require knowledge of a qualitatively different kind.

The next decade should prove to be a time of trying and testing many new ideas for extending the capabilities

of expert systems.

There is a shortage of research people, however, whose charter is to understand the hows and whys of

successful (and unsuccessful) applications. That is why it is necessary for people who are building newapplications to aid in the analysis nnd to publish the results.

Wc arc in many \id)S m d position similar to tlut of bLlSinCSS ddu prowssing 30 yxrs .go. In the

proceedings of a confcrcncu held at Harvard in 1955. there was a report on the first su~cssful application of

computers to a payroll system [303]. It was begun at General Electric in October. 1953 :ind by the time of the

confcrcncc two years later was paying approximately 5.500 hourly cmployccs working under manycombinations of special-case conditions. The parallels with applications of expert systems arc ;triking. I closewith an extcndcd quotation from that report:

“Developing such a program for computer processing involves a tremendous amount ofmeticulous work -- far more than we realized in the beginning. What have been the results’?

1. We proved that the job could be done.

2. We quickly found out that a number of revisions could and should be made to obtaingreater efficiency and lower costs.

3. Cost savings, based on initial performances, would only approximate half of what ouroriginal studies predicted. Displacement of clerical personnel. however, appears to bereasonably close to original estimates.

“If we had this to do 0-r. I think we would again start with the same project. Despite the factthat it is probably one of the most complicated projects. payroll does permit displacement of thegreatest number of clerical personnel and thus helps to defray expensive starting costs. E-‘urther, ithas provided an excellent basis for accumulating a lot of good cxpcricnce on how to usecomputers. . . .

.What Have We Learned in This One Year

of Practical Computer Experience?

“1. ‘I‘he initial ovcrenthusiasm, which inevitably accomp;lnics d project of this scope. can anddots make the job harder. v[‘~o many pcoplc had the imprwh ht Ihis was the answer to allproblems. Perhaps I[ is, but we haven’t been smart enough to deici(JP all of them....

“2. Some of our original thinking has been partly confirmed in mat the greatest benefits to bederived from a computer will probably consist of information impossible to obtain previously....

18

“3. Our experience has shown that the computer is more adaptable to some projects thanothers.... -

“4. Programmers should be recruited within your own company.... It is easier to teach men therequired computer and program techniques than to acquaint them properly with the complexprocedures and routines of modern-day industry....

“5. I doubt if it is possible to overemphasize the desirability of pro\ iding for convcnicntcorrections or dclction of errors in data....

“6. ‘l’hc maximum justifiable amount of flexibility for cxtcnding or integrating ‘ipplicationsmust bc included in the initial programming.

“Albert Einstein once said, ‘Concepts can only acquire content when they arc connected.however. indirectly. with sensible experience. But no logical investigation can rcvcal thisconnection. it can only be experienced.’ Similarly. we feel that our down-to-earth operatingcxpcricnce has given form to our original concepts. Our cxpericncc has verified many of ouroriginal concepts of computer application....

“In conclusion, it is my humble opinion that computers are here to stay. WC have got toincrease our efforts toward understanding them and knowing how best to use [them]. Further, wehave to do more experimenting with new fields that ultimately should utilize the equipment to agreater degree and thus return greater dividends.”

Expert systems are also here to stay. They have their weaknesses, but careful problem selection and design,.

explicit definition of context, and additional research will alleviate them. Even with their limitations, they can

be applied successfully. Finally, the successes will be all the stronger when the limitations are explicitly noted

as opportunities for experimentation and greater understanding.

7. ACKNOWLEDGMENTSThis work was funded in part by the following contracts and grants: b\fWA N00039-83-C-0136,

NIH/SUMEX RR-00785, National Aeronautics and Space ~~dministratlon-,\mes NCC-2-274. BoeingComputer Services W266875. National Science Foundation IST-8312148. and a gift from Lockhcecd.

Parts of this paper were presented at the IEEE Conference on ijpplications of Expert Systems. Denver.

November 1983: the IJCAI tutorial on Expert Systems. Los f2ngeles. AU~USL 1985: and a confcrcnce on

expert systems at the lBIM Scientific Center, Santa Clara, CA. November 1985. Many persons have provided

19

helpful suggestions for improvement, including additions to the list of working systems: Ed Feigenbaum,

Randy Davis, and Don Waterman, in particular. Special thanks to Grace Smith and Anthea Waleson for

preparing the bibliography and manuscript.

20

8. AN EXTENDED BIBLIOGRAPHY OF EXPERT SYSTEMS

The following list includes books, articles, and dissertations of special relevance to the construction of

expert systems. The entire body of AI literature is also relevant, of course. For the most part, articles on

prototype systems and otherwise unpublished technical reports are not included.

111

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Abadir, M.S. and Breuer, M.A.A knowledge-based system for designing testable VLSI chips.IEEE Des. & Test. Cornput. 2(4):56-68, Aug. 1985.

Addis. T.R.Towards an ‘Expert’ Diagnostic System.Kl. Techtzical Jtd. :79- 105. May, 1980.

d’:\gapcycff. A.A Short Survey of Experl Systetns in UK Busitless.‘l’cchnical Report, The Alvey Directorate. Department of Industry. Millbank Tower. Millbank,

Il.

London, 1984.

Aicllo. N., C. Bock. H. P. Nii, and W. C. White.A GE’ Referetlce Matual.Technical Report, , Stanford Comp. Sci. Memo HPP 81-24. 198

Aiello, N.A Comparative Study of Control Strategies for Expert Systems: AGE implementation of Three

Variations of PUFF.In Proc. AAAI-83, pages l-4. Washington, D.C., August. 1983.

Aikins J. S.Representation of control kgowledge in expert systems.In Proc. AAAI-82, pages 121-123. 1980.

Aikins. J.S.Prototypes and Production Rules: A Knowledge Representation for Computer Consullalions.PhD thesis, Stanford University, August. 1980.

Aikins. J.S.. Kunz. J.C.. Shortliffe. E. H.. and Fallat R.J.PUFF: An expert system for interpretation of pulmonary function data.Comput Biomed Res 16: 199-208.1983.

Aikins, J.S.Prototypical Knowledge for Expert Systems.Artificial Inrelligence 20(2): 163-210, February, 1983.

AIRcport85.The Artificial Intelligence Report.Vol. 2. No. 1, January 1985.

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Alexander, J.H., Freiling, M.J., Messick, S.L. and Rehfuss, S. .Efficient expert system development through domain-specific tools.In Fifih Inletnational Workshop on Experl Syslems and their Applicarions. 1985.

Alty, J.L.Use of expert systems.Cotnpuler Aided Engineering Journal 2( 1):2-9, February, 1985.

Applied Artificial Intelligence Reporter.Wcjtingtiwse: $10 million cab ings with expert system software.ICS Rcsc;Irch Institute. C:ni\ . of Miami, 1985, L-01. 2. No. 7.

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Balzer. R., Erman. L.. London, P. and Williams. C.HEARS\?‘-III: A Domain-Independent Framework for Expert Systems.In Proc. MAI-80. Stanford, CA, 1980.

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